robert d sack financial disclosure report for 2009

8/3/2019 Robert D Sack Financial Disclosure Report for 2009

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I ao to FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y the Ethicsi n ~ o v e r n m e n t A c t o f 1 ~ 7 , $Roy. 1/2010 FOR CALENDAR YEAR 2009 (5 u.s.c, app. :~ I01-I10. P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i ti a l ) 2. Court o r Organ iza t i on 3 . D a t e o f R e p o r tSa~k, Robert D. US Court of Appeals, 2d Cir. 5 1 1 0 / 2 0 1 0

4 . T i I I ~ ( A r t i c l e l l I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5 a . R e p O r t T y p e ( c h e c k a p p r o p r i a t e t y p e ) 6. Reporting ~erlodm a g i s t ra t e j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e )[] Nomination, D a t e 0 1 1 0 1 1 2 0 0 9US Circuit Judge (Senior ) [] Initial ~ ~ A n n u a l [] Final to........ 12/31 /2009Sb . [ ] Amend ed Repo r t

7. Chambers or Office Addre~ 8. On the basis of the information contained in this Rport and anym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t i ~ , i n m y o p t a l o n , in c o m p l i a n c e40 Foley Square with applicable laws attd regulations.Mew York , MY 10007

Reviewing Officer D a t e

IMPORTANT NO TES: The ins truct ions accompenying th is form must be foliowe~ Complete all parts ,checking the NONE box for each pur~ where you hm, e no reportable information. Sign on last page.

L POSITIONS. mema.~ ~ ,~ o.~; seo ~ ~-~ o!, ll~s ~~ ~~-t~-~ HONE (No reportable positions.)

POSITION NAM E Qi~ QRGANIZATION/ENTITYI. Director William F, Kerby a nd Robert S. Potter Fund2. Lectu rer in Law Colum bia Law Sch oo l3. M ember, Columbia Board of Visi tors Columbia Law School

5. r--

II.AGREEMENTS. I R o v o , a n s indi~, ldual only; see pp . 14-16 of f l l in~ NONE (No reportable agreements.)

DATE PARTIES AND TERMSI. 9/3/98 Pract i s ing Law Ins t itute and Rober t D. Sack, publ icat ion of 3rd edi t ion of t reat ise on defamat ion law; royal ty 15% ofnet receipts2. 1998 Gibson, Dunn & Cruteher L LP Retirement Agreemen t, Gibson Dunn & Crutcber LLP and Robe rt D. Sack; Terms:

$6,000 per month/life, no increase, decrease or cap


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Iame o f Pe r s on Repo r t i n g DateFINANCIAL DISCLOSURE R E P O R TPage 2 of 10 ~ / ~ 0 / 2 o ~ oIII. NON-INVESTMENT INCOME. ~,~ ~,t ~.~; ~ tree om~gA. Filers Non-Investment Income

NONE &~ reportable non-investment income.)SOURCE AND ~E (you~, not spomes)

I. 2009 Practising Law Imti~t~ B~k Roy alf igs $21,232.742.20~ Gibson~ Dun n & C~tch~r LLP Rgtir~gnt Plan $72,0~ .003.2~9 L~turer in Law , Columbia Law School $7,500.004.

B. Spouses Non-lnvestment Income - If you were married during any portton of Ihe repo~lng year, complete this sectlo~(Do l l a r a m o unl no t r eq uir ed ex cepl f o r ho ~ r ~ ia . )

~ N O N E (No reportable non-investment income.)SOURCEAND ~PE

i . 2 0 ~ D ~ w ~ y B a l l ~ t i n e P a n n e r s h i p D i s t r i b u t i o ~

2. 2009 W est Se~ ic~ Inc .3.

4.

I V . R E I M B U R S E M E N T S - . o n ~ r * ,* o a o , ,, IodVng, /ood,(Includes those to spo use and dependent children; se~ pp. 2J-27 of f il ing instruaiom.)

[~ N O N E (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEM S PAID OR PROVIDED

1 . University of Pennsylvania 3/19 /09 Philadelphia, PA Seminar Travel2. University of Chicago 5/I 5-16/09 Chicago, IL Conference Meals3.4.5 .


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FINANCIAL DISCLOSURE REPORT1[ S a c k , R o b e r t D .

I N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o ~ tPage 3 of 10

~ NONE (No repoaable g~s.)~ DESCRIPTION

I.2.3.4.5.

V I . L I A B I L I T I E S . a.a~ ,~o~ o/~ro~e ~.d ~,~.~ hlldren; see p~ ~ 2 - ~~ NONE (No reportable liabilities.)

~ DESCmP~ON1 , Citib~k Aadvmmg e Cr~it Card ....... J2+ Citib~k Aadv~ge Cr~t Card3. Ch~e Vi~ Credit Card J4.5 .


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Page F1NANCIAL4 of 10 DISCLOSU~ ~PORT Sack , Robin D. 5/I0/2010

NONE ~o reportable income, ~sets, or ~a~actions.)~ption of As~ lnco~ du~ng o f r c pon i n g ~ f i od

f rom pr io r d i~losu r C~ I div . . ~n t ,xe mp t buyer/~ller:

[L JPMo rg an Ch~0"Aoco~ [ A Interest L T2. JP Morg~ 108 6 US Govt MM KT Fond - A Dividend M TPremier (b~ly Morg~)3. Unsecar~ loan to David W . McClintick None ~ T4. D~we y Ballantine P~ership Capitol None ~ TAccos t5. GD&C CitiS~t 401 (k) D lnterest N T6. - SSgA M oney M arket F~d Sold [ ~ / 11 / 09 N(pan)7. ~penhe imer Adv~mge Munic ipa l A Interest l TLiquidi~ Fund (X )8 . B~ing Co. Common Stock A Dividend J T9. B l a ck~c k N e w Yo r k I ~ M u n i c ip a l B Dividend K TIncome T~s t III

1 0 . Van K ampen Trust for Invt . G~de NY A Dividend J TM~ic ipa l sII. ~he ime r NY M un i c i p a l Fund CI A C Dividend L T1 2 . Oppenheimer NY SFSA 5% Due 3/15/10 A l n t .~ iv . K T1 3 . JPMorg ~ Ch~Trad i t iona l I~ A I n t e r e s t J T1 4 . Northwestern M ural Life lnsur~c Policy C Dividend L T1 5 . Gu~dian Life Insura~Policy A Dividend K T1 6 . M~s~huset~ Mutual Life Insu~nce Policy A Dividend J T1 7 . Morgan S tanley Ban k De ,s it P ro~am A Dividend M T


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FINANCIAL DISCLOSURE REPORT [ Name of Person Repor l lag Dab of ReportPage 5 of 10 I i S . c k , a o b e c t D . 5 / 1 0 / 2 0 1 0

~ NONE ~o reportable income, a~sets, or ~ansaction~.)~dpti~ ofAs~ ~ IncOme during G~s v a l u e a t e n d T~acdom during r~nlng( . inc luding t~st ~ ) ~ ~ng ~fi~ of r~o~ing ~fiod

exempt from prior di~l~ ~ C~e I ] die . , ~n~ C ~ 2 I M ~ M b u y . ~ 1 1 , mm/~y y C~ 2 [ C~I " orim.) ~ O - P ) C~e3 ~ d e m p t i o n ) ~ OP) ~(A-H) : ( i f p d v a t e

1 8 . Morgan Stn ley M TA 5.35 ~ ro Coupon A I n t e r e s t K TBond due 7 /I /121 9 . MS New York Genl Oblig Ref Ser-C due A I n t e r e s t K T4 /15/132 0 . M o~an Stanley LIPA 5.60 ~ro Coupon A Interest K TBond ~ e 6 / 1 / 142 1 . M S NYS Power Auth Rev RefSer-C 4,e B Interest K Tdue 11 /15/202 2 . M S NYC Genl Oblig Ser-I 4% Due 2/1 /22 C I n t e r e s t L T2 3 . MS Fed Home Ln M tg Corp Meal Term N A Interest Redeemed 04122/09 K A5% due 9 / t 5 /1 62 4 , MS Fed Hem LN BK 5% due 6 /1 2 /1 8 A Interest Redeemed 0 5 / 0 5 1 0 9 K A2 5 . Mo rgan Stanley Global Dividend Growth A Dividend J TSec A26 . Morgan Stanley Special Value Fund A A Dividend J T2 7 . Mo rgan Stanley Special Growth Fund A A Dividend K T2 8 . MS Focus Growth Fd A A Dividend J T2 9 . MS Oppen. AMT Free NY Mu n A (Class C Dividend K TExchange) (X)3 0 . MS Oppen. AMT Free NY Mun B B Dividend K T3 1 . Morgan Stanley Franklin NY Tax Free Inc F B Dividend K T3 2 . Goldman Sachs High YId M uni A A Dividend K T3 3 . .IPMorgan Federal Money Market Fund - A Dividend K TMor gan34. Fiduciary Holdings;~ C I n t . / D i v . M T


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FINANCIAL DISCLOSURE REPORT I N a m e o f P e r s o n R e p o r t i n g D a t e o f R e l m r ~Page 6 of 10

I Sack, Robert D.5/10/2010

VII, INVE STM E NTS and T RU S TS -N O N E ( N o r ep o r t a bl e inco m e, ~ se t s , o r f f a nsa c t io ns . )

A, B. , C. D.~fiption of As~ I n c o m e d u r i n g [ Gross wlue a t end( inc lud in8 t~st ~)P l a c e " ( X ) " a f t e r ~ c h a s ~ t ~ A m o u n t T~e x e mp t f r om p r i o r d i~ l ~ [ C ~ e t &v., r~ l , [ C~e ~ Meth~ b u y , S e ~ l m~dO~ C~e 2 C~ i buyedsell~( A - H ) " o r l n t . ) ( J - P ) ~ C~e3 ~ ~emp tion) (J-P) ~(A-H) (ifpdvate

3 5 . -Morg an Stanley B~k Deposi t Program

~ 3 6 . -Morgan Stanley M TA NY Transi t ZeroCoupon Bond due 71111337 . -Morgan Stanley Frankl in NY Tax Free IncB

1 3 8 . -MS Oppen AM T Free NY Mun A (ClassExchange) (X)3 9 . -Morgan Stanley Oppen. AMT Free NYM u n Fu n d B

4 0 , Neuberger Sta te Stree t Mid Cap Growth A Dividend J TInvestor Class1 4 1 . Ameriprise IRA Portfolio(AH) E Int./Div. Pl T1 4 2 . -Ameripr i se Insured Mo ney M arket

4 3 . -DWS Short DUR Plus- A DWS Funds Bu y 01 /22 /09 Kt4 4 . -Eaton Amt Muni Bd inc-A Eaton Vance

Group 45 . -Fid A d v Float Rt I:Ulnc-A Fidelity Adviso r B uy 01 /22 /09 LFun d s4 6 . -Ivy Asset Strategy-A Waddell & Reed B uy 07/10 /09 LFun d s4 7 . -MFS Mu ni Lid Maturi ty-A MFS Family of Bu y 01/22/09 KFun d s48 , -Opp Int l B0nd-A Oppenheimer Funds Bu y 01 /22 /09 K49 . -Opp Gold & SP Mineral s-A Oppenheimer B uy 01/22/09 KFun d s5 0 . Sold 03 /30 /09 J(part)5 1 . Sold 09 /30 /09 K(part)

Column C2) U = B o o k V a h ~ e V ~Othcr W = E ~ t i m a w d


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iN FINANCIAL DISCLOSURE REPORT ~ m . o r e .. o o R e p o , l .g ~ . t e o r R e d o ,Page 7 of l 0 Sack, Robert D, 5/10/2010

V I I. IN V E S T M E N T S a n d T R U S T S - i , co , . , . ,~z., , , ,~,~c,~o,~ a.ez~, , ~o~, ofNONE ~o reportable income, ~sets, or ~ansactions.)

A. [ B . C . D.DeRription of As~ ~ I n c o m { d u r i n g G~ss value at end T~nsac t ion s dudn~ ~ in g(i~i~ing ~st ~ts) rc~n8 ~fi~ of reposing pefi~Pl~c "(X)" afl~w ~h ~ , A m o u n t T~ (e.g . , Value ] Value T~e (e,g., ~ Date [ Value G~n I d e m i i y o fc x e m p l f r o m p r i o r d i ~ Io s u ~ ~ C~e I div., r~k C~e 2 [ Mc~ b u y , S e l l, m ~ d d ~ y ] C~ 2 C~ e ] buyer/sel~r( A - H ) o r i r a . ) ( J - P ) [C~ 3 "emptmn) ~ ~ (J-P) ( A - H )

~ 2 . - ~ p L i d I n t e ~ M ~ i - A O p p e n h e i m e r B u y 0 3 / 2 6 / 0 9 LFun~~ 5 3 . - O p p D C v e { o p m i n g M k ~ - A O p p e n h e i m e r B u y 0 1 / 2 2 / ~ KFun~" ~ 4 . - P i m c o T o ~ l R e ~ . D A l [ i a n z G l o b a l B u y 0 7 / } 0 / 0 9 L

~ 5 . - P e ~ P o ~ f o l i o P ~ a n e n t F a m i l y o f F ~ n ~ B u y 0 7 1 1 0 1 0 9 L~ 6 . - O p p L i d T ~ N Y M ~ i - A O p ~ n h e ~ m e r

5 7 . - A m ~ r T ~ B o B d o f A m e r - A ~ e d ~ a n

58 . - V K M ~ i In co m e - A V an K am ~n F~d s~ 9 . -Van Eck GL ~ Asse~-A Vm EckGlobal Funds: 6 0 . -B l a c~ k M ~ i ho l d i n g s Ne w Yo r k I n s~ e ( B uy 07/14/09 KFund Inc (~dl)[ 6 1 . -Nuv~en New Y ork ]net Quali ty Municipal B uy 07/14/~ KFu~ Inc (add l )6 2 . -RSRV US Oovemm ent-R Reserve F~ds Sold 01 /1 6 /0 9 N63 . -D~y Shn l n t Mu n i Bd-D Drey~ Group B uy 01 /26 /09 K

-Eaton Amt Muni Bd ]nc-A ~ton Van ceGroup65 . -Fid Adv Floa t RI H/lnc-A Fide l i~ Advisor B uy 01 /22 /09 L

i 6 6 . -Girl High Yield Muni-AGoldma~ Sac~ ....As~t M~t

6 7 . -MFS Mun i L id -Ma~dw -A MFS Fami ly o l Bu y 01~2 /0 9 LFun~68 . -Opp Amt Fr~ NY M un i -A Op~nhe ime rFun~


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FINANCIAL DISCLOSURE REPORT N , , , o f P e r s o n R e p o r t l a g l ) , t c o f R e p o r tPage 8 of 10 S a c k . R o b e r t D . 5 / 1 0 ! 2 0 1 0

N O N E (No reportable income, assets, or ~ansact ions.)~sefipti~ of A~e~ [ Income during ~ Gm~ value at end T~n~ctiom(including ~st ~) [ r~ng ~d~ ~ of reporting ped~

exempt from p6or di~losu~ Code I d i v . , ~ t , C~e 2 ]Me~ ~ y , ~ 1 1 , ~ m ~ d ~ ~ C ~ e 2 ~ C ~ e I ~yer/~l~r

6 9 . -Pioneff Amt-Free M~i-A Pioneer Funds

7 0 , -Amer T~ Bond of Amer-A AmericanFun ~ Gr o up

7 2 . - Fr~ Alge r La rge Cap Gro~h I~7 3 . - Fra~lin Inte~iate Fixed Income 1~7 4 . - S~m Hybrid Prefe~ed I~

7 5 , - R~aissance Int~tional ~uiw 1~

7 6 . - All iance~mstein Large Cap Core IM7 7 . - Mun de r Mid Cap Cor e I~ "

7 8 , - Rive~ource Reti rement Adv isor 4Adv ~ t a g e V A- An n u i~


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FINANCIAL DISCLOSURE REPORT N , = , o f P . ~ , o ~ S . p o . * ~ ] D s t , o f R , ~ ,P age 9 o f 1 0 S,ck, RobertD.[

5 /10 /2010

VIII. ADDITIONAL INFORMATION OR EX PLANATIONS. ct~a~,,t, m, oIR,~o,~) . . _

A pending claim again st Worldco m is currently in litigation (02 Cir. 3288 (DLC)). The wo rth of that claim cannot b~ determin ed at this time,


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Ia m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tF I N A N C IA L D I S C LO S U R E R E P O R T[ S a c k , R o b e r t D .

5 / I 0 / 2 0 1 0age 10 of 10IX. CER TIFICATION .

I cer t i fy that al l in formation g iv en abov e (including in formation per tain in g to my spouse and mino r or dependent ch ildren , i f any) Isaccurate , true, and complete to the bes t of my kn ow ledge and belief, and that any in formation n ot repor ted was w ithheld because i t met applicable s tatutoryp r ov i s ion s pe rmi t t i n g n on - d i s c losu re .I fur ther cer t i fy that earned income from outs ide employm ent and hono rar ia aud the acceptance of g ifts which hav e been repor ted are Incompliance w ith the provis ions of 5 U.S.C. app. 501 et . seq. , 5 U.S.C. 7353, and Jud icial Conference regulations .

NOTE: ANY INDIVIDUAL W HO K NOWINGLY AND W ILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT M AY BE SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 10 4)

FILING INSTRUCTIONSM ai l si gned o r ig ina l and 3 add i t iona l cop ie s to :

Commit tee on F inanc ia l DisclosureAdmin is tra t ive Off ice of the United Sta tes CourtsSui te 2 -30 1One Colum bus Circ le , N.E.W ash i n g t o n , D .C. 2 0544

robert d sack financial disclosure report for 2009

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